Floodplain Management Programs

Guidelines for Applicants

Closing date: 5.00 pm 15 April 2014


Contents

Introduction

Eligibility

Who can apply?

What will be funded?

What will not be funded?

Funding priorities

What applicants will need to contribute

Special consideration

Partnerships

Project implementation timeframe

Funding agreements

Assessment process

Assessment criteria

Essential criteria

Other criteria

Contacts for assistance

General administration inquiries

Submission process

Closing date

Lodging the application

Other programs

Instructions for completing the application form

Instructions for completing the New Works Ranking Form

Introduction

The NSW Government provides technical and financial support to local government under the Floodplain Management Program (the Program) to manage flood risk. The primary objective of the Program is to support the implementation of the NSW Flood Prone Land Policy, which aims to reduce the impacts of flooding and flood liability on communities and to reduce private and public losses resulting from floods, using ecologically positive methods wherever possible.

The Program is administered by the Office of Environment and Heritage (OEH). Applications under this funding round may also be considered for funding under the jointly funded NSW and Australian Governments’ Natural Disaster Resilience Program.

The NSW Government recommends that local government manage its flood risk by following the floodplain risk management process outlined in theFloodplain Development Manual(2005).

Eligibility

Who can apply?

The following organisations are eligible to apply.

  • local councils
  • county councils
  • other government bodies with equivalent floodplain risk management responsibilities to local councils (e.g. Lord Howe Island Board, Hunter Local Land Services (LLS)

Local councils can also work together in a group, provided that:

  • one council is the lead agency in terms of signing of the funding agreement, managing monies and reporting on the project, or
  • a relevant Regional Organisation of Councils applies for and manages the funding

What will be funded?

Applications can be made for the following independent project stages:

Stage 1 / Flood study (including data collection)
Stage 2 / Prepare or review floodplain risk management study and plan
Stage 3 / Investigation, design and/or feasibility study (where required) for works identified in a floodplain risk management plan; this stage must be undertaken for any works projects that are likely to exceed a total project cost of $500,000
Stage 4 / Implementing actions identified in a floodplain risk management plan, including but not limited to:
  • structural works such as levees, detention basins, flood gates and flow conveyance improvements
  • flood warning systems
  • evacuation management
  • voluntary house raising (further information on the eligibility criteria and implementation of voluntary house raising projects is available on the website).
  • voluntary purchase (further information on the eligibility criteria and implementation of voluntary purchase projects is available on the website).

If it is likely that a project will progress from one stage to the next within the 2014-15 financial year, lodge a separate application for each stage.

Funding for successful applications may be provided under the NSW Floodplain Management Program or the jointly funded NSW and Australian Governments’ Natural Disaster Resilience Program (NDRP). The level of funding available under the NDRP is subject to Commonwealth/State negotiations.

What will not be funded?

Funding will not be provided for:

  • GST - the project cost is to exclude GST
  • retrospective projects - funding is not available for works already completed
  • administration costs - unless otherwise approved in writing by OEH, all internal costs (including on-costs) associated with the core activities of the applicant are ineligible for funding. An applicant’s core activities include preparing study briefs, reviewing proposals and tenders, researching and copying records, attending meetings, contract and grant administration, accounting costs, and liaising with the public and with government agencies.
  • non-monetary contributions as matching funds - an applicant’s matching funds must be in the form of monetary contributions, and cannot include in-kind or voluntary contributions
  • contingencies - should not be included in the application
  • projects the applicant can reasonably be expected to undertake without financial assistance from the program

Funding priorities

Generally, the highest priority will be given to the following projects:

  • flood studies or floodplain risk management studies and plans (or reviews), with the highest priority given to those in areas with significant development pressures or where existing communities are exposed to flood risk but where this risk is not fully understood.
  • the next stage of a mitigation work that is integral to a stage in progress; for example, the next stage of a levee project or works to offset the impacts from a levee project being constructed.

What applicants will need to contribute

Assistance under the Program is usually $2 from government for every $1 provided by the applicant. The source(s) of the applicant’s share of funds should be detailed in the application and cannot include funds received under other NSW or Commonwealth grant programs.

Special consideration

An applicant unable to match the Program’s funding contribution may apply for special consideration. The application should demonstrate why the issue being addressed is of regional or state-wide significance and that the applicant does not have the financial capacity to address it. The applicant’s financial capacity will be assessed considering its per capita general purpose grants under the Local Government Financial Assistance Grants, as established by the Local Government Grants Commission. If you intend to apply for special consideration you should contact the Senior Team Leader, Contestable Grants to discuss an agreed maximum funding ratio.

If special consideration is awarded, the applicant will be eligible to:

  • an increased government contribution towards the cost of the project
  • claim project management costs undertaken either:
  • internally (with the costs used as in-kind contributions to match funding); or
  • externally (selected by a competitive process and funded as a specific cost).

Partnerships

Where a group of local councils are working together in partnership (either under the lead of one of the councils or a relevant Regional Organisation of Councils), then the lead council or Regional Organisation of Councils is able to claim a portion of project management costs applicable to the funded project for the purpose of resourcing either:

  • a dedicated project manager selected by a competitive process, or
  • a staff member from one of the councils or a Regional Organisation Of Councils

Any eligible project management costs (referred to above) must be directly related to the funded project and can include the administrative costs noted under ‘What will not be funded?’ The amount eligible for funding is to be capped at 10 percent of the total project cost.

Project implementation timeframe

OEH receives an annual funding allocation for the Program, with limited capacity to carry over funds to future financial years. Consequently, projects should be staged (as outlined under the section What will be funded? above) and a stage should not extend beyond three years. If the project stage is likely to extend beyond three years, consideration should be given to staging the project.

While requests for variations to projects are available, it should be noted that projects which go beyond the approved time can impact available project funds for future rounds.

Funding agreements

Successful applicants must enter into a performance-based funding agreement that stipulates all funding obligations and conditions. The agreement will need to be duly executed by the general manager (or delegated authority) within 45 days of the Minister’s formal grant offer.

Consider the conditions in the sample funding agreement before submitting an application.

Assessment process

Applications will be initially checked to confirm eligibility and completeness. Ineligible or incomplete applications will not be assessed.

Applications will then be assessed by technical OEH staff against the assessment criteria listed below. An independent panel, which includes independent expert and stakeholder representation, will then assess and prioritise applications on a state-wide basis and consider claims for special consideration.

The Minister for the Environment or the Minister for Police & Emergency Services will approve all grant offers.

Details of successful applications will be placed on OEH’s website. All applicants will be notified in writing of the outcome of their application.

Assessment criteria

Essential criteria

All applicants must be able to demonstrate:

  • the project stage meets the objectives of the Floodplain Management Program
  • their capacity to deliver the project stage, with regard to their past grants management history, available resources and financial commitment, proposed timeframe, and whether the project is realistic based on completion of prerequisite consultant briefs, preconstruction work or approvals
  • their commitment to maintain any works in a condition suitable to meet its design intent for the design life
  • the floodplain risk management process outlined in the Floodplain Development Manual (2005) has been followed

Projects need to meet all four essential criteria to be eligible for funding.

Other criteria

Applications will also be assessed on:

  • the extent to which the project stageis cost–effective in addressing one or more of the Program’s priorities
  • the technical feasibility, effectiveness and efficiency of risk mitigation solutions
  • the level of state or regional significance, including the immediacy of any threats
  • the level of community support
  • for works, the outcomes of ranking based on the scoring system endorsed by the Floodplain Management Association (see New Works Ranking Form and ‘Instructions on completing the application form’ following for more details)
  • the priority of the project stage with regard to the relevant adopted floodplain risk management plan (if applicable)

Note:An application will be awarded a reduced ranking if it is not well thought out or it has unclear objectives or outcomes.

Contacts for assistance

For assistance with grant applications, contact the OEH offices listed below.

Region / Telephone
North East / (02) 6627 0233
Hunter/Central Coast / (02) 4904 2594
Greater Sydney / (02) 8837 6097
Illawarra / (02) 4224 4159
South East / (02) 4224 4158

General administration inquiries

For general grant administration inquiries, contact the Senior Team Leader, Contestable Grants – Coast, Estuary & Flood on (02) 9895 6533 or by email at .

Submission process

Closing date

Applications must be received by 5.00 pm 15 April 2014. Any application that is late, incomplete or ineligible will not be considered.

Lodging the application

Submit your entire application by ONE of the methods below. (i.e. DO NOT Email AND post). Email is the preferred option.

Email to: / /
  • Please email the application form as a Word document and the work plan as an Excel document - DO NOT PDF. Attachments can be emailed as Word, Excel or PDF documents.
  • If the application form or work plan is not submitted in the format specified above, they will not be accepted.
  • Ensure you email your entire application, including all attachments, e.g. work plans, maps; etc.
  • Emailed applications must not be larger than 10MB including all attachments.

Post to: / Senior Team Leader
Contestable Grants, Coast, Estuary & Flood
PO Box 644
PARRAMATTA NSW 2124 /
  • If posting your application, please send a USB or CD with your saved application form and any attachments. NO HARD COPIES PLEASE.

Other programs

The Office of Environment and Heritage also offers Coastal and Estuary grant programs, for further information, please see the website.

The NSW Environmental Trust offers a range of other environmental grants for local government. For further information, please see the Trust’s website.

Instructions for completing the application form

Separate application forms should be completed for each project/project stage.

Applications that are incomplete or do not provide the necessary level of detail to facilitate an adequate assessment of the project against others on a state-wide basis will be considered ineligible for funding. Lodging an application for financial assistance does not guarantee assistance will be offered.

Project stages which cannot demonstrate that they meet the objectives of the Floodplain Management Program will be considered ineligible for funding (see ‘Essential criteria’ and ‘Other criteria’ above).

These explanatory notes correspond to the items on the application form.

Floodplain Management Program
Assessment criteria
  1. Applicant details

  • The applicant must be a local council, Regional Organisation of Councils or be explicitly included in the section above under ‘Who can apply’.
  • If you have a project partner(s), attach a letter of support from that organisation, which also outlines details of the partner’s financial and other resource commitment to the project.

  1. Project title

  • Provide a title for your project in 80 characters or less. If your application is successful, this project name will be used on the grant documentation and for promotional purposes.
  • The title should be self-explanatory and, where possible, include the location name.

  1. Project stage and category

  • The applicant should indicate the stage and category of the project stage they are applying for. Only one box should be selected.
  • If it is likely that a project will progress from one stage to the next stage within the next three years, you should lodge a separate application for each stage.
  • Note that each individual flood study or plan should be considered a separate stage and therefore a separate application should be made.
  • If there is any uncertainty about the best category to use, contact your OEH regional office listed on page 5.

  1. Project timeframe

  • List the expected commencement and completion dates for the project stage. You may have up to three years to deliver the project. The proposed commencement date cannot be prior to 1 July 2014.
  • You should be realistic with your timeframe, as this will set the funding term duration for the funding agreement, if you are awarded a grant. Please note your project must commence by 31 December 2014.
  • Please refer to ‘What is the timeframe for project implementation?’ for information on the maximum project stage duration.

5.Project location
  • Describe the geographic extent of the project including, for example, town, latitude, longitude, nearby road, beach or other notable landmark. You should also attach a locality diagram or map and where relevant attach photographs of the site to be worked on.
  • Use the relevant state electorates, not federal electorates.
  • Information on the LGA, state electorate, LLSregion and catchment are required for program reporting purposes. They will not be considered as part of the assessment process.

6.Budget overview
  • Provide a breakdown of the projected project expenditure on a financial-year basis. This should be consistent with the more detailed budget outlined in the attached preliminary work plan. Refer to point 4 regarding the project timeframe

7.Special consideration
  • Applicants normally contribute $1 for each $2 of grant funding. If an applicant is unable to fund their matching contribution, they can apply for special consideration. Councils need to justify their application for special consideration.
  • Applications for special consideration should demonstrate why the issue being addressed is of regional or state-wide significance and that the applicant does not have the financial capacity to address it. The applicant’s financial capacity will be assessed considering its per capita general purpose grants under the Local Government Financial Assistance Grants, as established by the Local Government Grants Commission. Contact the Senior Team Leader, Contestable Grants for more information about funding ratios.

8.Financial commitment to the project stage and ongoing maintenance (if applicable)
  • The applicant should indicate whether it is able to provide the required matching funding for the project stage, and if the project stage has been identified in its forward budgets.
  • It is an essential criterion that the applicant also demonstrates its commitment to maintain any works in a condition suitable to meet the design intent for the design life of any works (works projects only). Please refer to ‘What are the criteria for assessing applications?’for further information.

9.Project summary
  • Provide a succinct plain language summary of the project (maximum of 150 words) for promotional and media purposes. This should include an overview of the project including project location, the issues the project will address, expected outcomes and how these will be achieved.

10.Other grants at this location
  • Provide details of any previous grants received for similar projects at this location in the last 10 years. This should include funding under any NSW or Commonwealth Government grant programs.

11.Other funding
  • Provide details of any current or planned proposals for accessing funds from other funding programs for this project or components of this project.
  • Include information about the funding program, the project scope and budget, the indicative timing of the project and proposal, and any impacts it may have on this application.

12. Flood history and studies
  • Provide a brief description of the flood history of the project area and any information about the severity of previous floods, and the damages and losses incurred (e.g. evacuation required, essential services at risk of failure).
  • If applicable, list any relevant studies undertaken to quantify the flood risk or to develop the proposed mitigation works or measures (e.g. flood studies, floodplain risk management studies). For implementation project stages, state whether the project stage is identified as a priority on the adopted floodplain risk management plan for the location.

13. Regional or state significance
  • Outline why the project is of state or regional significance. Justification may include (but not be limited to) the impact on regionally or state significant infrastructure, the impact on state or nationally significant natural assets, the implications for significant developments or urban release areas.